SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
SEC Needs Budget Boost to Enforce Reg BI: IRI to Senators
By Melanie WaddellThe SEC is seeking an 8% increase in its budget for fiscal year 2023, part of which will go toward oversight of Reg BI compliance.
July 05, 2022
Scott MacKillop: The SEC Warning TAMPs Don't Want to Talk AboutSEC is increasing scrutiny of TAMP selection, so choose carefully, the First Ascent Asset Management CEO warns.
July 01, 2022
ESG Funds Plan May Create 'Garbage In, Garbage Out' Problem: SEC RoundupIn this episode, ICI President Eric Pan and Paul Hastings partner Ira Kustin discuss the possible unintended consequences of the SEC's ESG proposal.
July 01, 2022
SEC Marketing Rule Is Hottest Compliance Topic for Second Year: SurveyCybersecurity and ESG also grind compliance pros' gears, according to an annual IAA compliance survey.
June 30, 2022
Grayscale Suing SEC After Its Bitcoin ETF Is RejectedA lawyer for Grayscale accused the SEC of "failing to apply consistent treatment to similar investment vehicles."
June 29, 2022
UBS to Pay $25M SEC Penalty Over Complex Options StrategyUBS advisors sold the Yield Enhancement Strategy even though some didn't understand the risks themselves, regulators say.
June 27, 2022
5 Rules the SEC Plans to Review This YearThe SEC's annual "Reg Flex" agenda is notable for what is not on it, Ron Rhoades says.
June 23, 2022
How to Avoid Trouble With Ethics Codes, Nonpublic InformationThe SEC warned advisory firms on potential ethics violations and insider trading problems.